Internal Audit VP Resume Samples
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Internal Audit VP Resume Samples
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DM
D Mayer
Dion
Mayer
3130 Jerde Wells
Detroit
MI
+1 (555) 903 6634
3130 Jerde Wells
Detroit
MI
Phone
p
+1 (555) 903 6634
Experience
Experience
Houston, TX
VP, Trust Internal Audit
Houston, TX
Daniel, Miller and Stehr
Houston, TX
VP, Trust Internal Audit
- Primary focus on planning, leading, and executing Fiduciary, BSA/AML, and SSAE-16 related audits, including those performed by external auditors
- Work closely with various departments in the early identification of emerging control issues and reporting them timely to management and business stakeholders
- Establishes policies and procedures to guide the internal audit function, including record retention guidelines
- Designs tests or reviews testing of operational effectiveness to validate controls
- Reports to senior management and the Audit Committee on the results of internal audit activities and performance relative to plan
- Identifies reviews, assesses and documents risk management and control issues
- Prepares written reports and delivers oral presentations to Audit Committee, internal customers, and management
Philadelphia, PA
Internal Audit, Technology, VP
Philadelphia, PA
Balistreri, Murazik and Larkin
Philadelphia, PA
Internal Audit, Technology, VP
- -Management, monitoring, operations of technology, and systems and software development lifecycle. (Backups, Change Management, System monitoring)
- -Documenting the results of the test steps executed and reviewing the work of other auditors to ensure it meets IA standards
- -Relevant technology regulations and control frameworks – ISO 27001, ISO 22301, Data Privacy, FFIEC IT handbooks, NIST, etc
- -Coordinating with coworkers who may be based in New York, London, or Bengaluru
- -Internet infrastructure design and the installation and support of network devices and firewalls
- Maintaining ongoing relationships with technology stakeholders including follow up on remediation of issues identified during audits
- Leading the risk assessment, scoping and planning of technology audits
present
Phoenix, AZ
Internal Audit, Audit Practices Group, VP
Phoenix, AZ
Schinner-Blick
present
Phoenix, AZ
Internal Audit, Audit Practices Group, VP
present
- Assisting with methodology and training initiatives
- Support the delivery of high-quality, consistent and risk-focused assurance work
- Performing thematic reviews of other aspects of the department’s work
- Assisting with executing other aspects of the department’s Quality Assurance Improvement Program
- Ad hoc project work on new IA processes or activities
- Performing real time reviews as requested
- Lead the project in maintaining the Audit Policies / Methodologies vs. Actual Practice vs. the Tools supporting the process, and implementation recommendation where there are gaps among these silos
Education
Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
New York University
Bachelor’s Degree in Finance
Skills
Skills
- Strong analytical skills. Able to quickly process information
- Ability to supervise and mentor staff, and review work papers to ensure they meet internal quality assurance standards
- Good working knowledge of securities regulations
- Ability to manage audits to meet budgets and the time frame for issuing reports
- Ability to synthesize and articulate complex ideas
- Advanced knowledge of financial instruments
- Strong project management, organizational, and presentation skills
- Ability to assess potential findings for significance
- Ability to develop and maintain effective working relationships with peers and business partners
- Excellent communication (verbal, written, listening) and interpersonal skills
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1
Assistant VP of Internal Audit Resume Examples & Samples
- Contributing to Risk Profiling & Continuous Audit Assessment in line with the overall Group Audit Methodology
- Undertaking audit assignments, drafting audit reports for review by audit management and facilitating issue tracking and validate closure of issues
- Developing relationships across the franchise and to communicate orally and in writing the results of his/her work to clients at all levels
- Proactively developing and maintaining professional working relationships with colleagues, the business, and respective support areas
- Working in an integrated manner with fellow team members both locally (e.g. IT Infrastructure, Risk & Finance) and globally
- Providing subject matter expertise for front-to-back audits, driving risk-based dynamic planning and supporting delivery of the global audit plan
- 4+ years of IT Audit experience with an Asset Management group
2
VP of Internal Audit Practices Resume Examples & Samples
- 8-15 years of experience conducting /managing audit or control functions
- Extensive knowledge and experience in risk-based audit methodologies, risk assessments, annual planning, risk and control, quality assurance practices
- Proven track record in project management and coordination / integration efforts across multiple audit groups
- Excellent communication, presentation and writing ability
- Solid knowledge of the audit and banking /financial industry and its associated risks
3
VP of Internal Audit / Risk Resume Examples & Samples
- BA in accounting
- 5+ years' relevant auditing experience from a public or private bank or brokerage firm
- Skilled with derivatives, valuations, and risk reporting
4
VP of Internal Audit Equities & Prime Brokerage Resume Examples & Samples
- 8+ years of experience in Risk-based Auditing
- Previous experience with Equities and Prime Brokerage
- Strong Audit Lead, Management and Execution skills
- Exposure to Trade life-cycle for Cash Equities, Listed Options, Equity Structured Products, Repo and Equity Financing and agency derivative services
- Knowledge of electronic trading and dark pools
5
Senior VP of Internal Audit Resume Examples & Samples
- 12+ years of Banking Audit experience
- Bachelor's Degree in Accounting, Economics, Finance, and/or related field
- Previous experience with Financial Crime Compliance, Retail Credit, Credit Risk Review, and Private Banking Fiduciary
- Global exposure
6
Internal Audit VP Resume Examples & Samples
- Closely manages audit teams in the completion of audits and executing more complex aspects of the audit
- Maintains client relationships within a defined portfolio of businesses or departments
- Reports to an Audit Coverage Director
- Assists the Internal Audit department’s Institutional Securities audit team in completing its annual audit plan, communicating to senior management and the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include: sales and trading activities and procedures for one or more of the divisions (equities, fixed income, commodities), together with operations, financial accounting, compliance and legal protocols; as well as other aspects of the Sales & Trading business
- Advanced knowledge of financial instruments
- Extensive experience of making risk assessments at a business and process level
- Managing the preparation of audit planning memoranda, including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments
- Ability to supervise and mentor staff, and review work papers to ensure they meet internal quality assurance standards
- Ability to manage audits to meet budgets and the time frame for issuing reports
- Writing audit reports, including clear and concise findings and recommendations, and negotiating their finalization with senior client management
- In excess of twelve years’ experience in financial services
- Bright, motivated with excellent interpersonal and communication skills
7
VP of Internal Audit Resume Examples & Samples
- Good knowledge of Fixed Income products, relevant regulations and market working practices and trade lifecycle
- Strong understanding of trade lifecycle and associated risk and controls
- Practical experience of working in or auditing investment banking environment
- Graduate degree and/or relevant professional qualifications/licenses
- Proven track record of high performance in previous roles
8
VP of Internal Audit Resume Examples & Samples
- 8+ years of combined experience in Internal Audit and the Financial Services industry
- Strong knowledge of Wealth Management practices
- CIA, MBA or CPA
9
VP, Cib Internal Audit Resume Examples & Samples
- Evaluate the inherent and residual risks of the audit universe and within audits
- Determine the scope and develop programs for audit and special projects
- Development and execution of control testing and analytical testing
- Assist in the preparation of the annual audit plan
- Establish strong communication lines with executive management in the office
- Establish solid communication lines with the regulators
- Ensure that all deficiencies identified in the audit process are corrected
10
VP of Internal Audit Resume Examples & Samples
- Sound understanding of the Volcker Rule, with focus on the requirements governing Trading activities
- Good working knowledge of market activities, products, and processes
- Good working knowledge of Internal Audit principles, methodologies, and tools
- 7+ years of experience in internal auditing, compliance or other relevant positions
- Experience in auditing, testing or otherwise developing a Volcker compliance framework, with a strong control perspective
- Familiarity with Dodd Frank Title VII requirements
- Knowledge of market risk management principles
11
VP of Internal Audit Macro Rates Resume Examples & Samples
- 8+ years of Business Auditors and Investment Banking experience
- Bachelors Degree in a related field
- Solid Audit background (Financial and Products)
- Understanding of front office trading support functions (Product Control, Middle Office and Price Verification)
- Experience in Risk based Auditing
- Understanding the trade life cycle
- Experience working in or auditing investment banking environment
12
Audit Internal Auditor VP Resume Examples & Samples
- Perform audit engagements covering the Luxembourg business including risk assessments, audit planning, audit testing, control evaluation, report issuing and follow-up and verification of issue closure
- Perform regular audits required by local regulations on Anti-Money Laundering and fight against terrorism financing, Rules of Conduct of the Luxembourg Financial Sector, Internal Capital Adequacy Assessment Process (ICAAP), Remuneration Policies, CSSF Circular 12/552 on Central Administration, Internal Governance and Risk Management
- Be an active member of the Governance Committee to provide input on any topic discussed (regulatory, operational, risk management...)
- Establish strong work relationships with Luxembourg Business Management team, JPMC Audit, and JPMC external auditors
- Provide ongoing continuous audit coverage and relationship management for the functions within JPMBL
- Work closely with the local business in the early identification of emerging control issues and reporting them timely to local management and business stakeholders
- Perform ongoing analysis of risk trends through the development and implementation of audit coverage
- Liaise with JPMC Corporate Audit department on all Luxembourg audits
- Provide regular updates on audit findings and recommendations to the Bank’s Board of Directors
- Extensive previous audit experience preferably in Securities Services businesses
- Certified Public Accountant or Certified Internal Auditor accreditation preferred
- Detailed knowledge of fund administration, custody, depository bank products and services
- Knowledge of applicable Luxembourg laws and regulatory requirements
- Works well individually, shares information, supports colleagues
- Strong skills in time management, problem solving,
- Fluent written and spoken English, good understanding of French preferred
13
VP of Internal Audit Resume Examples & Samples
- Previous Insurance / Reinsurance experience
- Previous Audit (Financial and Operational), Internal Control, Sarbanes Oxley, and Statutory Reporting
- Microsoft Excel proficient (Pivot Tables, etc.)
14
Internal Audit PB VP Resume Examples & Samples
- Relevant professional qualifications such as CA/CPA/CIA/IIA is preferred
- Significant experience in auditing of private banking and wealth management business
- Superior communication skills to handle high-level stakeholders
15
VP of Internal Audit Resume Examples & Samples
- 12+ years of experience in an Internal Audit, Public Accounting, and/or a Business Operational role, such as Finance or IT
- CPA, CFE, CISA, CIA or other relevant designation
- Deep experience with SAP, new technologies including cloud computing, data analytics, fraud prevention/detection, and or music/entertainment
- Strong understanding of GAAP, SOX, COSO, IT audit concepts, and leading business practices
- Microsoft Office/Suite proficient (Excel, Access, Word, Project, Visio, etc.)
16
Internal Audit, Technology, VP Resume Examples & Samples
- Managing a team of Americas-based Infrastructure Technology Auditors
- Analyzing the design of controls around the underlying system architecture in the context of information technology controls such as security, availability and performance and their impact on the business
- Designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes
- Validating that system features meet business, technology and regulatory requirements
- Documenting the results of the test steps executed and reviewing the work of other auditors to ensure it meets IA standards
- Coordinating with coworkers who may be based in New York, London, or Bengaluru
- Leading final audit report preparation and presenting results to senior internal audit and technology stakeholders
- Liaising with firm’s external auditors and regulators
- Minimum 7 years of relevant experience in an Infrastructure Technology Audit role
- Cloud based infrastructure (Windows, UNIX, storage)
- Software defined infrastructure
- Cybersecurity control design, implementation, and testing as well as broader Information Security and Risk assessment principles
- Internet infrastructure design and the installation and support of network devices and firewalls
- Database design, setup and administration (DBA) experience with Sybase, Oracle, or UDB, No-SQL Platforms
- System and security administration and configuration of servers and desktops, UNIX, Windows, Directory services, etc
- Business Continuity Planning and Disaster Recovery design and implementation
- Management, monitoring, operations of technology, and systems and software development lifecycle. (Backups, Change Management, System monitoring)
- Relevant technology regulations and control frameworks – ISO 27001, ISO 22301, Data Privacy, FFIEC IT handbooks, NIST, etc
- Data Analysis
- Experience in Financial Services industry preferred
- Strong interpersonal, written and verbal communication skills, as the job requires frequent interaction with technology and business management
17
Internal Audit, Audit Practices Group, VP Resume Examples & Samples
- Executing Quality Assurance reviews to assess adherence to with methodology
- Performing real time reviews as requested
- Performing thematic reviews of other aspects of the department’s work
- Assisting with executing other aspects of the department’s Quality Assurance Improvement Program
- Responding to ad hoc queries raise by auditors
- Assisting with methodology and training initiatives
- Participating in selected departmental initiatives
- Strong background in audit policy and methodology
- Good attention to detail; strong analytical skills
- Ability to manage multiple tasks and work well under pressure
- 10 years relevant experience
- Degree required
- CPA or CIA qualification preferred
18
VP of Internal Audit Resume Examples & Samples
- At least 5 years of experience in the financial services industry
- Bachelor's degree in Accounting or a related area
- Analytical thinking skills
- Experience working with asset management firms, a broker dealer, Big Four firm or regulator
- Financial instruments product knowledge such as: a Financial Engineering qualification, CPA, CFA, PRMIA or FRM qualifications
- Experience in audit/forensic accounting and testing
19
Internal Audit VP Resume Examples & Samples
- Experience of leading audits covering traded products
- Have an interest in exotic products and the emerging markets
- Ideally have covered Operations, Risk and Compliance from an audit perspective
- Be a "Self Starter", able to deliver complex work whilst managing relationships with senior management
- Be able to focus on the big issues that will affect the group
- Ideally you will have a Big 4 audit background (although experience in a top tier bank will be equally good)
20
Senior VP of Internal Audit Resume Examples & Samples
- 7+ years of experience in a related role
- Supervisory or Senior-level background
- Strong understanding of Product Control processes
- Expertise with Valuation of financial instruments and key controls associated with the Independent Price Verification and Fair Value Adjustments process
21
Assistant VP of Internal Audit FI Credit Resume Examples & Samples
- 3+ years of Auditing and/or Investment Banking experience
- Fixed Income background
- Advanced Degree
22
Internal Audit, Securities Division, VP Resume Examples & Samples
- Demonstrate an in-depth understanding of business areas, key processes, and supporting functions
- Lead manage regional and global audits to ensure timely deliverable of audit work, and review of work documentation to meet IA audit documentation quality standards
- Strong ability to identify risks, assess impact, and make recommendations on improving the control environment
- Prepare commercially effective audit findings and conclusions, and present to IA senior management and business stakeholders
- Follow-up on open audit issues, validation of their resolution and assessment of residual risks if any
- Actively involved in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure
- 6+ years of experience in a public accounting or internal audit role within the financial services industry or a related control function
- Sales and trading of cash, derivative and structured products across FICC (Interest rate products, credit products, Mortgages, Currencies and Commodities) and Equities (listed and OTC trading - shares, options, and futures),
- Principal investments
- Trading risk management, modeling, P/L reporting, and valuation of financial products,
- Compliance with trading rules and regulations
23
Internal Audit, Audit Practices Group, VP Resume Examples & Samples
- Lead the project in maintaining the Audit Policies / Methodologies vs. Actual Practice vs. the Tools supporting the process, and implementation recommendation where there are gaps among these silos
- Support divisional leadership through participation in various department-wide initiatives on auditing methodology/practices
- Advisory – providing advice on audit practices and procedures to the audit group
- Minimum 7 plus years of experience in either public accounting or Internal Audit
- Demonstrated technical abilities in select areas, audit, accounting, regulatory, compliance, etc
- Experience with internal audit practice policies within a large financial services corporation
- Ability to think strategically about the internal audit function, its mission and its strategic resources, including attracting highly qualified staff
- Ability to interact professionally to support external auditors and company regulators
- Excellent written and verbal communication skills along with experience collaborating with external auditors, consultants and other internal customers
24
VP, Trust Internal Audit Resume Examples & Samples
- Reports to senior management and the Audit Committee on the results of internal audit activities and performance relative to plan
- Establishes risk-based plans to guide the internal audit function, after consideration of Trust department strategic plans and input of senior management and the Audit Committee
- Ensures identified audit findings have been vetted with appropriate management
- Identifies reviews, assesses and documents risk management and control issues
- Prepares and communicates recommendations for strengthening controls to the Audit Committee and senior management and assists in developing action plans to address control weaknesses
- Work closely with various departments in the early identification of emerging control issues and reporting them timely to management and business stakeholders
- Researches industry regulations and make recommendations for implementation
- Advanced concepts, practices and procedures of auditing and risk assessment
- Advanced knowledge of Trust Industry products, practices, procedures, and regulations
- Advanced concepts of finance and accounting
- Self-motivation and initiative to organize and prioritize work, advancing multiple assignments concurrently within established timelines
- Testing key controls within business processes
- Performing risk assessments and guiding management in performing self-assessments
- Establishing operational objectives
- Developing processes and procedures for efficient and timely work flow
- Developing and executing business development strategies
- Demonstrate uncompromising adherence to ethical principles
- Ability to define problems collects data, establish facts, and draw valid conclusionsMotivate and persuade others to achieve desired outcomes without organizational authority
- Bachelor’s Degree in Economics, Accounting, Finance or business related field with a minimum of eight (8) to ten (10) years of auditing, examiner, or related experience
- Trust and estates services and fiduciary aspects of the business preferred
25
VP, Operations Internal Audit Resume Examples & Samples
- Manage and execute audits, including audit planning, fieldwork and reporting
- Monitor and assess the resolution of audit issues
- Monitor the control environment and emerging risks
- Contribute to the maintenance and risk assessment of the audit universe
- Contribute to the development of the audit plan
- Contribute to the evaluation of management’s control approach and the control environment in IB Operations and Service Operations
- Proven experience in risk based auditing or risk/control activities
- Management of audits or controls assurance/testing, including planning, fieldwork and reporting
- Practical understanding of the financial services industry and relevant regulations and legislation
- Ability to engage and build relationships with senior clients
- Relevant professional qualifications e.g. CIA, MIIA, ACCA, CISA and graduate degree
26
VP Corp Internal Audit Resume Examples & Samples
- Define the structure and create the template for ascena’s policies and procedures to effectively comply with the provisions of The Sarbanes-Oxley Act of 2002
- Design, develop, implement and direct ascena’s annual audit cycle
- Schedule and direct the performance of regularly scheduled financial and operational audits in all areas including balance sheet reviews, administrative and operations, supply chain, internal controls and systems, IT, and other financial transactions as required for compliance with best practices
- Ensure that strong, well-documented internal control procedures and reporting systems are in place across all of ascena, defining structure and reviewing all relevant documentation
- Prepare for Board of Directors meetings to review quarterly earnings releases, 10Q and 10K filings, and review other topics including legal, compliance, the Audit Charter, significant audit findings and audit related issues
- Compliance requirements and changes, effectiveness of internal controls, and other germane financial and accounting issues with ascena’s senior financial management team
- Manage the relationship with independent auditors including services to be performed and annual audit fee
- Work closely with senior management on risk management
- Ensure that the Internal Audit Group is current on all events pertinent to ascena’s future including analyst reports, the Company’s operating agenda and its relationship to the Audit Plan, and news on ascena and its competitors
- Manage and develop the careers of the Internal Audit staff to ensure members are trained, challenged and provided opportunities to excel and advance within the total organization
- Travel to divisions, regional offices and field locations to secure a solid understanding of ascena’s businesses throughout the United States
- Experience running an Internal Audit function in a major, multi-national corporation that is leading edge in the financial area
- Background working with The Sarbanes-Oxley Act of 2002 from template design through compliance
- Experience upgrading and maintaining internal controls, systems and procedures that are in accordance with best practices
- Audit management experience in operational, financial and IT auditing and familiarity with IT’s role in developing financial systems
- Membership on the senior financial team which includes heavy interface with Board of Directors
- Significant leadership and management experience in finance, accounting and audit
- Background managing independent auditors and the services they provide
- Track record of developing staff to secure meaningful careers in the Organization
- A BS degree in accounting or related business discipline is required. A CPA or MBA from a recognized business school is highly preferred
27
Internal Audit, VP-edinburgh Resume Examples & Samples
- Managing and leading the execution of global and regional audit reviews, including
- Experience leading teams and developing talent
- Relevant professional certifications are a plus
- Excellent communication (verbal, written, listening) and interpersonal skills
- Ability to develop and maintain effective working relationships with peers and business partners
28
VP, Global Internal Audit Resume Examples & Samples
- Undergraduate degree or equivalent with 12+ years of direct relevant experience in an internal or external audit environment
- CPA, CIA, CISA or other certification
- MBA or equivalent graduate degree is desirable
- Strong interpersonal, relationship management and communication skills
29
VP of Internal Audit Resume Examples & Samples
- Establish an effective, comprehensive internal audit and risk program to be applied across the Company based on companywide risk assessment process; develop processes and procedures to support the function
- Develop a communication plan and strategy about the function, and develop an education plan for stakeholders about their roles and responsibilities
- Manage and coordinate the planning and execution of a comprehensive audit program directed at assessing the Company's compliance with the provisions of the Sarbanes-Oxley Act. Evaluate all corporate & control deficiencies and management action plans
- Work directly with Company leadership and external advisors to identify operational and financial risks and strategic themes. Use the risk assessment to recommend an audit plan for approval by the Audit Committee
- Lead an external team that analyzes and evaluates the performance of the Company’s financial, operational, and managerial processes systems to identify risks, areas for improvement, and to ensure that the Company complies with all relevant regulations, laws, and standards
- Explain and discuss potential risks, issues and opportunities with Company leaders to promote a strong compliance culture. Work closely with process owners to ensure corrective action when needed
- Working closely with the Chief Legal Officer to facilitate development of an Enterprise Risk Management program
- Participate in special projects or other duties as needed
- Bachelor’s degree in business-related field, CIA preferred
- 15+ years of audit experience, including time in leadership within a corporate Internal Audit function of a U.S. public company public accounting firm experience required
- Sarbanes Oxley expert
- Ability to work well in a fast-paced, deadline-driven environment
- Attention to detail and ability to multi-task
- High energy, positive, collaborative and approachable work style
- Sound business acumen and the ability to weigh risk and opportunity
- Ability to collaborate and build relationships across all business functions, with all levels of management, with internal and external stakeholders
- Ability to adapt quickly to change
30
VP, Global Internal Audit Resume Examples & Samples
- Apply a risk based approach to the audit of the company’s activities based on the results of the Internal Audit risk assessment process
- Ensure continuous refinement and improvement to maintain the Company’s Sox Processes relevancy to Company and business operations as well as industry standards
- Coordinate the execution of both the SOX Internal Control Assessment and the Enterprise Risk Management Programs for the entire Company and keep the VP Corporate Controller and CFO well informed of progress and issues
- Lead point of contact on internal control matters with External Auditors, Compliance, IT, Finance, Operations and other teams across the Company
- Maintain an effective and comprehensive understanding of risks and controls as it pertains to the existing organization and in consideration of the Company’s strategic initiatives
- Ensure the Company, management and employees are in compliance with regulatory requirements and Company policies
- Present to the Audit Committee the annual risk assessment and audit plan for approval
- During the year, inform the Audit Committee of the status of the audit plan and any proposed changes to the plan and report audit resultsto management and the Audit Committee
- Regularly update the Audit Committee on the results of audit activities, including any significant control or procedural weaknesses, recommendations, timetable for corrective actions and the status of management remediation effortsCommunicate the objectives and requirements of the annual audit plan to management
- Ensure audit programs and testing procedures are relevant to risk and test objectives
- Assist in the oversight of the Company’s anti-fraud program and risk management policies as requested by the Audit Committee
- As necessary, collaborate with Legal, Human Resources, Finance and Operations to investigate and resolve complex audit issues and Hotline Calls related to known, alleged, or suspected acts of fraud, theft and other accounting and auditing matters
- Research and keep abreast of new audit regulations/trends, new and emerging technologies, tools, and methodology, and elicit information from knowledgeable internal/external sources about areas and functions to evaluate or analyze
- Keep the Board of Directors, Audit Committee and Executive Committee informed of emerging audit regulations/trends and successful practices in auditing and controls testing
- Assist management, when needed, in the formulation of new procedures and organizational changes resulting from audit/consulting engagements and discuss changes in related policies, rules, procedures, and methods
- Coordinate the scope, coverage and execution of the internal and external audit plans with the independent external auditors
- Develop department Directors, Managers, Seniors, and Staff including individual’s objective setting, performance reviews, training requirements, and establishing development plans, which will facilitate their ability to rotate to other roles within the company
- CPA/CIA required if individual has an Accounting Degree, otherwise MBA or Masters required or relevant business experience
31
VP, Global Internal Audit Resume Examples & Samples
- Certified Public Accountant, Certified Internal Auditor, Certified Information Systems Auditor, or equivalent certification
- 12-15+ years of audit experience with a multinational company
- 12-15+ years of business leadership experience for a large, global organization
- Experience in CPG, alcoholic beverage experience preferred
32
Internal Audit, IMD Tech, VP Resume Examples & Samples
- Work closely with an integrated audit team to develop and maintain an in-depth understanding of key business and technology areas
- Lead execution of audit testing and supervise junior team members to ensure audit objectives are met (e.g. timely completion of all deliverables, high quality documentation, effective and efficient audit fieldwork and building of strong stakeholder relationships)
- Analyze processes to evaluate the design and effectiveness of the relevant technology controls by designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes
- Liaise with senior stakeholders to discuss matters of emerging risk, regulatory inquiry and the issues affecting the day-to-day control environment
- 7-10 years of experience in a technology audit role
- Solid understanding of Java, C++ or scripting languages (e.g. PERL)
- Solid analytical and data analysis skills (e.g., SQL or similar tools)
- 4-year degree required (Computer Science, Math, MIS preferred)
- Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus
33
Internal Audit VP-wealth Management Resume Examples & Samples
- Manage audit staff by mentoring, providing subject matter expertise and conduct employee competency reviews
- Perform annual audit planning and management of respective resources
- Manage, analyze and evaluate the Firm's Wealth Management brokerage business focusing on client suitability, sales practices, products, investment advisory, and branch operations to evaluate the risk and control framework supporting the business. This includes, performing risk assessments for Wealth Management audit entity universe to help drive the risk-based audit plan
- Execute the annual risk-based audit plan to provide appropriate coverage of retail brokerage activities. Manage the execution of the audit plan within departmental methodology, policies and standards. Work with Senior Management of the business and Internal Audit Department to vet audit issues and write and disseminate audit reports
- Perform on-site retail branch audits in accordance with FINRA rules and regulations
- Ability to travel when required (~15%)
34
Assistant VP IT Infrastructure Internal Audit Resume Examples & Samples
- Identify, assess & document risks and controls
- Strong practical knowledge of risk and control in technology infrastructure including processes for managing and maintaining infrastructure (i.e. ITIL processes, identity and access management etc.) as well as experience in some of the following technology areas
- Operational experience in infrastructure platforms
- Knowledge of the relevant regulatory environment
- Risk and control experience in the financial services sector
- Relevant professional qualifications (e.g. CISA, CISM, CISSP, other relevant technical qualification(s), graduate degree)
35
Assistant VP of Internal Audit Resume Examples & Samples
- 4+ years of Audit (Financial and Products) experience
- Previous experience in a Management and/or Supervisory position
- Knowledge about new and emerging Financial Products and Services
- Project Management background